Corporate Compliance Accountant Jobs

Company: Phillips Financial

Position: Corporate Compliance Accountant

Overview

Phillips Financial is an established, growing financial services firm located in Fort Wayne, Indiana employing over 30 professionals. Phillips serves over 750 individual client relationships and 65 employer sponsored retirement plans.In addition, Phillips has an employee benefits division that services over 130 clients. We are looking to hire a Corporate Compliance Accountant to assist with day-to-day accounting and compliance activities.This individual will be assisting the firm’s Chief Operating Officer in core accounting, finance, operational, and technology responsibilities within the firm.In addition, this position would serve as the firm’s Chief Compliance Officer and be supported by our outside compliance consultant.Individuals with an accounting or finance background would be a solid match, given the operational aspects to the role.Phillips and our compliance consulting partner are committed to provide the necessary compliance training upon hire.

Key Areas of Responsibilities

·Accounting/Operational Responsibilities:

oAssist in day-to-day accounting and financial reporting responsibilities

• Complete payments to vendors; record payments from clients
• Process payroll and related filings
• Set-up and process client billing

§Assist with financial reporting and analysis

oAssist in technology assessments and implementation

oBased on our firm’s strategic initiatives, drive improvement in current workflows and lead the execution of various operational projects

·Compliance Responsibilities:

oMonitor, design, and maintain compliance programs for the firm

oPrepare and file regulatory filings (including Form ADV, Schedule 13F/G/H, Form CRS)

oManage the required annual custody audit

oLead annual E&O insurance renewal process

oCompliance monitoring of electronic communications, marketing material, professional designations, and miscellaneous other items

oTesting compliance program’s policies and procedures

Requirements for success

·Integrity

·Team-oriented

·Effective communication skills

·Attention to detail and excellent organization skills

·Ability to manage multiple projects and assignments

·Resourcefulness and ability to problem solve

·Proficient with technology, including MS Office; QuickBooks experience is a plus

Experience and Education

·Bachelor’s degree

·Work Experience: Candidate dependent; 2+ years of experience in compliance/accounting preferred

·IACCP is a plus

·CPA/CFP is a plus

Compensation

·Competitive Salary

·Bonus Pool

·Generous benefit package